Axis Trustee Serviices

Liaising between Clients, Lenders, LLCs and management through trusteeship business Checking /Verifying the compliance documents as per the requirements of the transaction Vetting of documents for various kinds of Secured / Unsecured Borrowings of Corporate clients Monitoring timely covenants / compliances as per the requirement of the transaction Creation of appropriate charges on the assets of the corporates, i e mortgage, hypothecation etc Acting on behalf of lenders Monitoring of Funds through Escrow Account Issuance of custody and security letter Ensuring compliance of regulations in Debentures Protecting interest of investors and lenders

Liasioning between Clients, Lenders and management through trusteeship business Vetting of documents for various kinds of Secured / Unsecured Borrowings of Corporate clients. Creation of appropriate charges on the assets of the corporates, i.e. mortgage, hypothecation etc. Acting on behalf of lenders Monitoring of Funds through Escrow Account Issuance of custody and security letter Protecting interest of investors and lenders Providing data to the Auditors viz. Concurrent Auditor, Internal Auditor , SEBI Auditor Monitoring the compliance of the acts, rules and regulations, notifications, guidelines, instructions, etc., issued by the Board, Central Government and State Government(s); Redressal of investors grievances. Travelling out of Maharashtra may require in case of client meet / documentation / audit. To be part of Revenue Target and ensuring timely Recovery of fees from clients including NCL/DRT clients. Handling the team of officers and ensuring targets are met within specified timelines Acting as Authorised Signatories in various official works. Attending meeting with SEBI officials, Management, Clients as part of operations. Handling all operational aspects of trusteeship mandate

Job Summary: We are seeking a highly skilled Operational Compliance Officer to ensure adherence to SEBI regulations for Real Estate Investment Trusts (REITs) and SEBI regulations for Infrastructure Investment Trusts (InvITs), with a specific focus on real estate valuation and reasonable understanding of infrastructure sector in general viz. Road & Highways, Power transmission, Power including renewable energy, Warehousing, etc. The ideal candidate will have a strong understanding of SEBI regulations, experience in compliance within the financial services industry, and expertise in real estate valuation. Key Responsibilities: Regulatory Compliance: Ensure compliance with SEBI (REIT) & (InvIT) Regulations, 2014, including any amendments, particularly those related to real estate and infrastructure valuation. Valuation Oversight: Oversee the valuation process of real estate and infrastructure assets within the REIT & InvIT portfolio, ensuring adherence to SEBI guidelines and industry best practices. Also should have reasonable understanding of Valuation guidelines as prescribed by Valuation standards of ICAI Policy Implementation: Develop, implement, and monitor compliance policies and procedures to ensure adherence to regulatory requirements. Audit and Reporting: Conduct regular audits and prepare compliance reports for submission to SEBI and other regulatory bodies. Risk Management: Identify and mitigate compliance risks associated with REIT and InvIT operations and valuation. Training and Development: Provide training to staff on compliance-related matters and keep them updated on regulatory changes, including those related to valuation. Stakeholder Coordination: Liaise with internal and external stakeholders, including SEBI, auditors, valuers, and legal advisors, to ensure compliance. Documentation: Maintain comprehensive records of compliance activities and ensure all documentation related to REITs and InvITs is up-to-date and accurate.

We are seeking a highly skilled Operational Compliance Officer to ensure adherence to SEBI regulations for Real Estate Investment Trusts (REITs) and SEBI regulations for Infrastructure Investment Trusts (InvITs), with a specific focus on real estate valuation and reasonable understanding of infrastructure sector in general viz. Road & Highways, Power transmission, Power including renewable energy, Warehousing, etc. The ideal candidate will have a strong understanding of SEBI regulations, experience in compliance within the financial services industry, and expertise in real estate valuation. Key Responsibilities: Regulatory Compliance: Ensure compliance with SEBI (REIT) & (InvIT) Regulations, 2014, including any amendments, particularly those related to real estate and infrastructure valuation. Valuation Oversight: Oversee the valuation process of real estate and infrastructure assets within the REIT & InvIT portfolio, ensuring adherence to SEBI guidelines and industry best practices. Also should have reasonable understanding of Valuation guidelines as prescribed by Valuation standards of ICAI Policy Implementation: Develop, implement, and monitor compliance policies and procedures to ensure adherence to regulatory requirements. Audit and Reporting: Conduct regular audits and prepare compliance reports for submission to SEBI and other regulatory bodies. Risk Management: Identify and mitigate compliance risks associated with REIT and InvIT operations and valuation. Training and Development: Provide training to staff on compliance-related matters and keep them updated on regulatory changes, including those related to valuation. Stakeholder Coordination: Liaise with internal and external stakeholders, including SEBI, auditors, valuers, and legal advisors, to ensure compliance. Documentation: Maintain comprehensive records of compliance activities and ensure all documentation related to REITs and InvITs is up-to-date and accurate.

We are seeking a qualified Company Secretary (CS) at the Manager level to manage corporate secretarial responsibilities and ensure compliance with SEBI regulations. The role will be pivotal in ensuring corporate governance, regulatory filings, and board-level compliance for Axis Trustee, a subsidiary of a listed entity. The candidate must be adept at handling statutory and regulatory matters, particularly SEBI and Companies Act requirements. Location - Mumbai CTC - 12-15 Key Responsibilities: Ensure compliance with the Companies Act, 2013, SEBI regulations (including LODR), and other applicable corporate laws. Conduct Board Meetings, Committee Meetings, and General Meetings - preparation of agenda, minutes, and necessary filings. Maintain statutory registers, records, and ensure timely filings with ROC, SEBI, and other regulatory bodies. Ensure timely disclosures and compliances required as a subsidiary of a listed company. Liaise with internal stakeholders and external regulators including SEBI, ROC, and stock exchanges. Draft and vet corporate documents, resolutions, board presentations, and internal policies. Manage secretarial audit and interface with internal and statutory auditors. Monitor regulatory developments from SEBI and MCA and evaluate their impact on the business. Assist in handling investor communications and compliance reporting. Maintain and update corporate governance frameworks and ethics policies.

Interdepartmental coordination for monitoring related activities such as initial and periodical covenants, NOC insurance, pledge creation release Etc Checking /Verifying the transactional documents I e DTD and IM for identification of covenants for Listed NCDs Preparing list of covenants as per SEBI master circular for listed mandates Verifying and approving cash flow events and covenants on DLT platform CERSAI filling related to secured transactions Creation of appropriate charges on the assets of the corporates, i e mortgage, hypothecation etc Issuance release letter for closed transactions

Relationship Management Assisting in Building excellent long-term relationships with existing clients, maintaining regular exchange with them and advising them on how Axis Trustee can support their growth plans; Answering clients questions in a solution oriented manner; Collecting regular feedback from clients and share it with the internal teams as appropriate; Managing, monitoring and assuring client satisfaction; Collaborating with internal teams to address customers needs; Revenue Growth Identifying cross selling opportunities with existing clients; Assuring Axis Trustee is and remains client s preferred partner; Client profitability Assisting in invoicing and recovery. Monitoring scope of service with agreed terms.

Responsible for ensuring compliance with Regulatory guidelines (SEBI/RBI) and other applicable laws/Act in force to protect the interests of the company; Preparation and submission of periodic reports to SEBI/RBI and other regulators [as applicable], Axis Bank as per subsidiary governance norms; Preparation of monthly / quarterly / semi-annual / annual compliance / noncompliance / reports to comply with RBI, SEBI regulations, Stock exchanges etc., in carrying out its trusteeship activities; Resolving complaints, investor s grievances and coordinate action plans with other departments. Maintain the statutory registers received relevant to compliance with SEBI regulations. Resolving Investor grievances through SCORES mechanism; Checking the compliances as per the Compliance Monitoring Testing Plan. Preparing gist of the various regulatory updates and disseminating the same at organization level. Representing to the Group Chief Compliance officer of Axis Bank Ltd on Quarterly basis. Preparation of Audit Charter & Annual Audit Plan, Collaborate with auditors [External, Regulatory and Bank] for co-ordination/closure of audit observations. Control the risk to medium or lower level; Proactively auditing existing processes, practices and developing, implementing effective compliance program /policies; Periodically revise and update the policies of the Company. Liaising with the Axis Bank (holding company) to comply with group governance policies; Advising on good governance practices and compliance of Corporate Governance norms as prescribed under various Corporate, Securities and Other Business Laws and regulations and guidelines made thereunder

Handling loan documentation, security creation, registration and filling of applicable charges for Companies, Banks and other Financial Institutions Aptitude to understand foreign laws / formalities in relation to creation of security (in offshore/ onshore jurisdiction) in consultation with respective foreign / Indian legal counsels Monitoring and Follow up of covenants Co-ordination with Banks for smooth remittance of funds in Facility Agency transactions Co-ordination with legal department & other external/internal stakeholders for various matters Any other trustee operations work as and when assigned Safe keeping of documents

We are seeking a dynamic and seasoned finance professional to lead the Accounts and Finance function of a financial services subsidiary of a reputed bank. The Head of Accounts and Finance will be responsible for end-to-end financial operations, including strategic planning, financial reporting, compliance, system implementation, invoicing, and receivables management. This role demands a strong leader with deep financial expertise, business acumen, and a solid grasp of financial systems and regulatory frameworks in the financial services sector. Key Responsibilities: 1. Financial Strategy & Planning Formulate and drive the financial strategy in alignment with business goals. Provide financial insights to support strategic business decisions at the executive and board levels. Monitor financial performance and lead profitability improvement initiatives. 2. Financial Reporting & Compliance Ensure timely and accurate preparation of financial statements as per Ind AS/IFRS. Oversee all statutory, tax, and regulatory compliances (RBI, SEBI, GST, Income Tax, Companies Act, etc.). Coordinate internal, external, and regulatory audits and ensure timely closure. 3. Budgeting, Forecasting & Analysis Lead the budgeting process and periodic forecasting. Analyze variances and implement corrective actions in coordination with business heads. Develop and maintain robust financial models and dashboards. 4. Treasury & Cash Flow Management Ensure effective cash flow planning and management. Optimize working capital and ensure timely availability of funds. Manage investments and banking relationships. 5. Taxation Supervise direct and indirect tax functions including compliance, filings, and assessments. Stay abreast of changes in tax laws and guide business on tax planning and impact. 6. Invoicing, Receivables & Debtor Management Oversee the end-to-end invoicing and billing process to ensure accuracy and timeliness. Develop and enforce credit control policies and procedures. Monitor and manage accounts receivable, follow up on overdue accounts, and drive collection efficiency. Analyze debtor aging and implement strategies to reduce overdue receivables. 7. Technology & Systems Implementation Lead automation and digitization initiatives within the finance function. Evaluate, implement, and upgrade financial systems (ERP, accounting software, MIS tools). Collaborate with IT and operations to enhance system integration, controls, and reporting capabilities. Drive data accuracy, security, and real-time reporting. 8. Internal Controls & Risk Management Establish and continuously improve internal control frameworks. Conduct regular financial and operational risk assessments. Ensure compliance with internal policies and procedures aligned with the parent bank. 9. Leadership & Stakeholder Management Lead and mentor the finance team to build capability, performance, and succession. Work closely with business unit heads, auditors, regulatory bodies, and the parent bank s finance team. Represent finance in cross-functional projects and strategic initiatives.